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EV Eaton Vance Corp

73.07
0.00 (0.00%)
26 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Eaton Vance Corp NYSE:EV NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 73.07 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

15/11/2019 8:11pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

BERMAN ANN E
2. Issuer Name and Ticker or Trading Symbol

EATON VANCE CORP [ EV ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

TWO INTERNATIONAL PLACE, EATON VANCE
3. Date of Earliest Transaction (MM/DD/YYYY)

11/15/2019
(Street)

BOSTON, MA 02110
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Deferred Stock (1)$0.0000 11/15/2019  A   28.0000 (2)   11/1/2020 11/1/2020 Eaton Vance Corp. Non-voting Common Stock 28.0000 $0.0000 3188.0000 D  
Phantom Stock (3)$0.0000 11/15/2019  A   26.0000 (4)    (5) (5)Eaton Vance Corp. Non-voting Common Stock 26.0000 $0.0000 2935.0000 D  
Deferred Stock (1)$0.0000           11/1/2021 11/1/2021 Eaton Vance Corp. Non-voting Common Stock 3034.0000  3034.0000 D  
Option (right to buy) $34.8400           11/1/2016 11/1/2026 Eaton Vance Corp. Non-voting Common Stock 11777.0000  11777.0000 D  
Option (right to buy) $41.9000           11/1/2013 11/1/2023 Eaton Vance Corp. Non-voting Common Stock 4045.0000  4045.0000 D  

Explanation of Responses:
(1) Each share of Deferred Stock is the economic equivalent of one share of non-voting common stock.
(2) As dividends are paid with respect to Company Non-Voting Common Stock, a number of units of Deferred Stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee Director with respect to each unit of Deferred Stock Awarded at the time such dividends are paid to the stock holders of the Company.
(3) Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock.
(4) As dividends are paid with respect to Company Non-Voting Common Stock, a number of units of Phantom Stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee Director with respect to each unit of Phantom Stock Awarded at the time such dividends are paid to the stock holders of the Company.
(5) The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
BERMAN ANN E
TWO INTERNATIONAL PLACE
EATON VANCE
BOSTON, MA 02110
X



Signatures
Mark J. Bumann, Attorney-in-fact11/15/2019
**Signature of Reporting PersonDate

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